Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2021-09-08
NY RA APPROVED 2021-07-09
CT RA APPROVED 2013-11-27
  • NJ RA
    APPROVED
    Since 2021-09-08
  • NY RA
    APPROVED
    Since 2021-07-09
  • CT RA
    APPROVED
    Since 2013-11-27

Branch Locations

75 S Clinton Ave, Rochester, NY 14604 • United States

115 W Century Rd, Paramus, NJ 07652 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Of America, N.A. Rochester NY 10/1985 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 11/2010 Present
Other Businesses

I*15385 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ROCHESTER BUSINESS ALLIANCE INVESTMENT RELATED: N ADDRESS OF BUSINESS: ROCHESTER, NEW YORK 14614 NATURE OF BUSINESS: OTHER, NON- PROFIT BUSINESS ADVOCACY ORGANIZATION POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 8/1/2008 NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2 DUTIES: PROVIDES BUSINESSES WITH SERVICES SUCH AS NETWORKING, STAFFING, MARKETING SUPPORT AND ATTRACT AND RETAIN BUSINESS TO OUR COMMUNITY. MY RESPONSIBILITIES INCLUDE VICE CHAIRMAN OF ADVISORY BOARD, MEMBER OF EXECUTIVE AND GOVERNANCE COMMITTEES. I*404193 For profit or not for profit: Entity For Profit Name of outside business organization: Gladsand, LLC Investment related: N Address of business: Pittsford, New York, 14534, United States Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 10/19/2015 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , In process of forming LLC with members consisting of me and my three children. Purpose of the LLC is to purchase and own a home. Home will be rented to a family member (children's mother) beginning in January 2016.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-11-25
S63 Uniform Securities Agent State Law Examination 2006-09-25
  • S66 Uniform Combined State Law Examination
    2013-11-25
  • S63 Uniform Securities Agent State Law Examination
    2006-09-25

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Rochester, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor